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WIND POINT PARTNERS AAV, L.P. Form D Filed 2021-06-25

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WIND POINT PARTNERS AAV, L.P. Form D Filed 2021-06-25 SECURITIES AND EXCHANGE COMMISSION FORM D Official notice of an offering of securities that is made without registration under the Securities Act in reliance on an exemption provided by Regulation D and Section 4(6) under the Act. Filing Date: 2021-06-25 SEC Accession No. 0001867099-21-000001 (HTML Version on secdatabase.com) FILER WIND POINT PARTNERS AAV, L.P. Mailing Address Business Address 676 N. MICHIGAN AVENUE, 676 N. MICHIGAN AVENUE, CIK:1867099| IRS No.: 863717252 | State of Incorp.:DE | Fiscal Year End: 1231 SUITE 3700 SUITE 3700 Type: D | Act: 33 | File No.: 021-404331 | Film No.: 211047670 CHICAGO IL 60611 CHICAGO IL 60611 (312) 255-4800 Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL OMB Number: 3235-0076 Washington, D.C. 20549 June 30, Expires: FORM D 2012 Estimated average burden hours per 4.00 Notice of Exempt Offering of Securities response: 1. Issuer's Identity CIK (Filer ID Number) Previous Name(s) ☒ None Entity Type 0001867099 ☐Corporation Name of Issuer ☒ Limited Partnership WIND POINT PARTNERS AAV, L.P. ☐ Limited Liability Company Jurisdiction of Incorporation/ Organization ☐ General Partnership DELAWARE ☐ Business Trust Year of Incorporation/Organization ☐Other ☐ Over Five Years Ago ☒ Within Last Five Years (Specify Year) 2021 ☐ Yet to Be Formed 2. Principal Place of Business and Contact Information Name of Issuer WIND POINT PARTNERS AAV, L.P. Street Address 1 Street Address 2 676 N. MICHIGAN AVENUE, SUITE 3700 City State/Province/Country ZIP/Postal Code Phone No. of Issuer CHICAGO ILLINOIS 60611 (312) 255-4800 3. Related Persons Last Name First Name Middle Name WASHINGTON III ALEX E. Street Address 1 Street Address 2 676 N. MICHIGAN AVENUE, SUITE 3700 City State/Province/Country ZIP/Postal Code CHICAGO ILLINOIS 60611 Relationship: ☒ Executive Officer ☐ Director ☒ Promoter Clarification of Response (if Necessary) Last Name First Name Middle Name BROWN NATHAN A. Street Address 1 Street Address 2 676 N. MICHIGAN AVENUE, SUITE 3700 City State/Province/Country ZIP/Postal Code Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document CHICAGO ILLINOIS 60611 Relationship: ☒ Executive Officer ☐ Director ☒ Promoter Clarification of Response (if Necessary) Last Name First Name Middle Name PETERSON PAUL H. Street Address 1 Street Address 2 676 N. MICHIGAN AVENUE, SUITE 3700 City State/Province/Country ZIP/Postal Code CHICAGO ILLINOIS 60611 Relationship: ☒ Executive Officer ☐ Director ☒ Promoter Clarification of Response (if Necessary) 4. Industry Group ☐ Agriculture Health Care ☐ Retailing Banking & Financial Services ☐ Biotechnology ☐ Restaurants ☐ Commercial Banking ☐ Health Insurance Technology ☐ Insurance ☐ Hospitals & Physicians ☐ Computers ☐ Investing ☐ Pharmaceuticals ☐ Telecommunications ☐ Investment Banking ☐ Other Health Care ☐ Other Technology ☒ Pooled Investment Fund ☐ Manufacturing ☐ Hedge Fund Real Estate Travel ☒ Private Equity Fund ☐ Commercial ☐ Airlines & Airports ☐ Venture Capital Fund ☐ Construction ☐ Lodging & Conventions ☐ Other Investment Fund ☐ REITS & Finance ☐ Tourism & Travel Services *Is the issuer registered as an ☐ Residential ☐ Other Travel investment company under the ☐ Other Real Estate ☐ Other Investment Company Act of 1940? ☐ Yes ☒No ☐ Other Banking & Financial Services ☐ Business Services Energy ☐ Coal Mining ☐ Electric Utilities ☐ Energy Conservation ☐ Environmental Services ☐ Oil & Gas ☐ Other Energy 5. Issuer Size Revenue Range Aggregate Net Asset Value Range ☐ No Revenues ☐ No Aggregate Net Asset Value $1 - $1,000,000 ☐ $1 - $5,000,000 Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document ☐ $1,000,001 - $5,000,000 ☐ $5,000,001 - $25,000,000 ☐ $5,000,001 - $25,000,000 ☐ $25,000,001 - $50,000,000 ☐ $25,000,001 - $100,000,000 ☐ $50,000,001 - $100,000,000 ☐ Over $100,000,000 ☐ Over $100,000,000 ☒ Decline to Disclose ☐ Decline to Disclose ☐ Not Applicable ☐ Not Applicable 6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply) ☐ Rule 504(b)(1) (not (i), (ii) or (iii)) ☐Rule 505 ☐ Rule 504 (b)(1)(i) ☐Rule 506 ☐ Rule 504 (b)(1)(ii) ☐Securities Act Section 4(6) ☐ Rule 504 (b)(1)(iii) ☒Investment Company Act Section 3(c) ☐Section 3(c)(1) ☐Section 3(c)(9) ☐Section 3(c)(2) ☐Section 3(c)(10) ☐Section 3(c)(3) ☐Section 3(c)(11) ☐Section 3(c)(4) ☐Section 3(c)(12) ☐Section 3(c)(5) ☐Section 3(c)(13) ☐Section 3(c)(6) ☐Section 3(c)(14) ☒Section 3(c)(7) 7. Type of Filing ☒ New Notice Date of First Sale ☒ First Sale Yet to Occur ☐ Amendment 8. Duration of Offering Does the Issuer intend this offering to last more than one year? ☐ Yes ☒ No 9. Type(s) of Securities Offered (select all that apply) ☒ Pooled Investment Fund Interests ☒ Equity ☐ Tenant-in-Common Securities ☐ Debt Option, Warrant or Other Right to Acquire Mineral Property Securities ☐ ☐ Another Security Security to be Acquired Upon Exercise of Option, Warrant or Other Other (describe) ☐ Right to Acquire Security ☐ 10. Business Combination Transaction Is this offering being made in connection with a business combination transaction, such as a merger, Yes No acquisition or exchange offer? ☐ ☒ Clarification of Response (if Necessary) 11. Minimum Investment Minimum investment accepted from any outside investor $ 0 USD Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document 12. Sales Compensation Recipient Recipient CRD Number ☐ None EVERCORE GROUP L.L.C. 45405 (Associated) Broker or Dealer ☒ None (Associated) Broker or Dealer CRD Number ☒ None None None Street Address 1 Street Address 2 55 EAST 52ND STREET City State/Province/Country ZIP/Postal Code NEW YORK NEW YORK 10055 State(s) of Solicitation ☒ All States ☒ Foreign/Non-US 13. Offering and Sales Amounts Total Offering Amount $ USD or ☒ Indefinite Total Amount Sold $ 0 USD Total Remaining to be Sold $ USD or ☒ Indefinite Clarification of Response (if Necessary) 14. Investors ☐ Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, Number of such non-accredited investors who already have invested in the offering Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as 0 accredited investors, enter the total number of investors who already have invested in the offering: 15. Sales Commissions & Finders’ Fees Expenses Provide separately the amounts of sales commissions and finders' fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount. Sales Commissions $ 0 USD ☒ Estimate Finders' Fees $ 0 USD ☒ Estimate Clarification of Response (if Necessary) Placement agent fees to be paid based upon a fee schedule. Such fees are offset dollar-for-dollar against the management fees payable by the Issuer. 16. Use of Proceeds Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount. $ 0 USD ☒ Estimate Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document Clarification of Response (if Necessary) Signature and Submission Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice. Terms of Submission In submitting this notice, each Issuer named above is: • Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, the information furnished to offerees. • Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the Issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against it in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed. • Certifying that the Issuer is not disqualified from relying on any Regulation D exemption it has identified in Item 6 above for one of the reasons stated in Rule 505(b)(2)(iii). Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person. For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature. Issuer Signature Name of Signer Title Date WIND POINT /S/ ALEX E. ALEX E. MANAGING DIRECTOR OF THE GP OF 2021-06-25 PARTNERS AAV, L.P. WASHINGTON III WASHINGTON III THE GP OF THE ISSUER Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
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